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Index
CHAPTER 1: Economic Factors & Business Information
Financial Reporting
Fundamental Analysis
Financial Statements
Quantitative Methods
Time Value of Money
Descriptive Statistics and Risk Measurements
Types of Risk
Systematic Risk
Unsystematic Risk
Now What?
CHAPTER 2: Investment Vehicle Characteristics
Methods Used to Determine the Value of Fixed-Income Securities
Types and Characteristics of Derivative Securities
Options
Futures
Forwards
Alternative Investments
Hedge Funds
Private Equity
Structured Products
Limited Partnerships (DPPs)
Insurance-Based Products
Annuities
Life Insurance
Settlement Options for Insurance Policies
Now What?
CHAPTER 3: Client Investment Recommendations & Strategies
Type of Client
Sole Proprietor
Partnerships
LLC (Limited Liability Company)
Corporations
Client Profile
Suitability
Portfolio Management Styles & Strategies
Valuation Ratios
Market Capitalization (Market Cap)
Growth Investing
Value Investing
Active vs. Passive
Technical Analysis
Buy and Hold
Portfolio Management Techniques
Asset Allocation
Diversification
Sector Rotating
Dollar Cost Averaging
Capital Market Theory
CAPM
Modern Portfolio Theory
Efficient Market Hypothesis
Tax Considerations
Portfolio Income
Mutual Fund Taxation
Taxation of Annuities
Taxation of Life Insurance
Taxation of Options
Transferred Securities
Estates
Gifts
Trusts
Disclaiming an Inheritance
AMT
Progressive and Regressive
Types of Income
Corporate Taxes
Retirement Plans
Individual Plans
Employer-Based Retirement Plans
ERISA Issues
Fiduciaries
Safe Harbor, 404(c)
Company Stock
Special types of accounts
Education-Related Accounts
Other Accounts
Trading Securities
First Market – NYSE, etc.
Over-the-Counter
Third Market
Fourth Market
Selling Short
Bond Trading
Types of Orders
Margin
Performance Measures
Holding Period and Annualized Return
Yield and Total Return
Inflation-Adjusted, Real Return
After-Tax Return
Tax-Equivalent Yield
Risk-Adjusted Return
Time- and Dollar-Weighted Return
Expected Return
Benchmarks
Possible Calculations
Now What?
CHAPTER 4: Laws, Regulations, and Guidelines, Including Prohibition on Unethical Business Practices
State and Federal Securities Acts
Uniform Securities Act
Federal Securities Acts
Regulation of RIAs and IARs
Federal Covered Advisers
Disclosure Brochure
Wrap-Fee Programs
State Registration
NSMIA
SEC Release IA-1092
Regulation of Broker-Dealers and Agents
Registration Procedure
Record Keeping Requirements
Net Capital Requirements
Renewals and Other Registration Specifics
Defining Our Terms
Exclusions and Exemptions for Persons
Not a Broker-Dealer
Not an Agent
Investment Adviser Exclusions
Ethical Practices and Fiduciary Obligations
Business Practices for RIAs and IARs
Business Practices for Broker-Dealers and Agents
Now What?
Glossary
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